| 16-01553 | 07/03/2017 | Claimant(s): Matthew Gittins
Claimant Lawyers(s): Jack A. Gordon
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Amy Y. Moy
Hearing Site: New York, NY
| | |
| 16-03348 | 07/03/2017 | Claimant(s): Eric Hernandez
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark Knoll
Arbitrator(s): Sandra J. Mullings, Joan M. Traub, Joanne Basso Mack
Hearing Site: New York, NY
| | |
| 15-01096 | 08/25/2016 | Claimant(s): Camille Pisciotto
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Shelley Teitelbaum, Sandra J. Mullings, Noel B. Berman
Hearing Site: New York, NY
|  | Expungement |
| 14-02759 | 12/09/2015 | Claimant(s): Charles Avery
Claimant Lawyers(s): Charles G. Avery
Respondent(s): Wells Fargo Advisors, Paolo Bagnato
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $225 |
| 14-00584 | 11/20/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Thomas E. Duggan, Jack Friedman, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 14-01522 | 01/06/2015 | Claimant(s): Edward Hom
Claimant Lawyers(s): Edward Hom
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $38 |
| 14-00048 | 11/06/2014 | Claimant(s): Robert Loftus
Claimant Lawyers(s): Robert E. Loftus
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 13-02938 | 08/25/2014 | Claimant(s): Brett Hina, David Marshall, Matthew Boynton, Robert Hutchinson
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 13-00264 | 07/24/2014 | Claimant(s): Norma Peters and Craig Shields
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 13-02036 | 07/11/2014 | Claimant(s): Rolf Hanggi
Claimant Lawyers(s): Sam Schwartz
Respondent(s): Emilio Disanluciano, Frank Mazzola, Felix Investments LLC
Respondent Lawyers(s): Aegis Frumento, Richard J. Babnick, Susan Diamond
Arbitrator(s): Arnold Wagner, Sandra J. Mullings, Robert J. Miller
Hearing Site: New York, NY
| | $0 |
